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AML senior manager/ manager - securities brokerage

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Winifred Tsang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    4 months ago

  • Expiry date:


  • Startdate:


My client is a traditional Chinese securities firm under a top-tier global FinTech company with very strong financial stability. They are looking for candidates with 5-8 years of AML advisory experiences in securities firms to assist in drafting, implementing and reviewing the compliance policies and procedures.

As the senior management in team, you would be in charge of the AML related issues of firm and directly report to the group head of AML. Apart from the very attractive bonus scheme, you can enjoy high authority and opportunity to explore different kinds of AML functions.



  • Draft, implement and review company’s compliance policies and procedures in order to align with rules and regulations
  • Handle external parties including but not limited to SFC filings, enquiries and investigations
  • Assist in licensing matters with SFC
  • Review KYC and AML related issues and projects
  • Review compliance monitoring, checking and assessments
  • Advise compliance team/ internal business functions in AML related issues
  • Prepare relevant compliance training for other business functions


  • Bachelor degree or above in business administration, accountancy, finance or law discipline is preferred
  • Minimum 5 years AML advisory or related experience in securities firms, asset management or financial advisory firms
  • Familiar with SFC rules and regulations
  • Able to handle work independently, detail-oriented and able to work under pressure
  • Proficient in written and spoken Chinese (Mandarin is a must) and English


For interested parties, please contact Winifred at +852 2777 6277 or for further discussions.